UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 1999
Check here if Amendment [ ]; Amendment Number: ____
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Rockefeller Financial Services, Inc.
Address: 30 Rockefeller Plaza
New York, New York 10112
Form 13F File Number: 28-2813
The institutional investment manager filing this report and the person by
whom it is signed hereby represent that the person signing the report is
authorized to submit it, that all information contained herein is true, correct
and complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form. Person
Signing this Report on Behalf of Reporting Manager:
Name: David A. Strawbridge
Title: General Counsel
Phone: (212) 649-5804
Signature, Place, and Date of Signing:
/s/ David A. Strawbridge New York, New York November 12, 1999
[Signature] [City,State] [Date]
The schedules attached, headed Rockefeller Financial Services, Inc.
/Rockefeller & Co., Inc., include all of the information required to be reported
by Rockefeller & Co., Inc. a wholly owned subsidiary of Rockefeller Financial
Services, Inc. on Form 13F for the quarter ended September 30, 1999.
<PAGE>
-2-
The schedules attached, headed Rockefeller Financial Services,
Inc./Rockefeller & Co., Inc. / The Rockefeller Trust Company, include all of the
information required to be reported by The Rockefeller Trust Company a wholly
owned subsidiary of Rockefeller & Co., Inc. which is the wholly owned subsidiary
of Rockefeller Financial Services, Inc. on Form 13F for the quarter ended
September 30, 1999.
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and
all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are reported
by other reporting manager(s).)
<PAGE>
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 2
Form 13F Information Table Entry Total: 482
Form 13F Information Table Value Total: $2,664,421 (x 1,000)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
No. Form 13F File Number Name
1. 28-926 Rockefeller & Co., Inc.
2. 28-2772 The Rockefeller Trust Company
<PAGE>
<TABLE>
<CAPTION>
FORM 13F(09-30-99) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC.
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Shr/ Put Call Other Voting Authority Shares
Title of Cusip Value Shares or Prn Investment Mgrs.
Name of Issuer Class (x$1,000) Principal Discretion A. Sole B. Shared C. None
3-Com Corp. - Restricted COM 885535104 21 744 Shared-Defined 1 744 0 0
3DFX Interactive Inc. COM 88553X103 777 94,157 Shared-Defined 1 93,757 0 400
Abbott Laboratories COM 002824100 13,996 381,500 Shared-Defined 1 377,500 0 4,000
Adac Laboratories - New COM 005313200 3,540 360,749 Shared-Defined 1 360,749 0 0
Adelphia Communications Corp. COM 006848105 6 100 Shared-Defined 1 100 0 0
Class A
Advanced Micro Devices Inc. COM 007903107 9 500 Shared-Defined 1 500 0 0
Advantage Learning Systems, Inc. COM 00757K100 1,118 60,000 Shared-Defined 1 60,000 0 0
Aes Corp. COM 00130H105 30,156 511,124 Shared-Defined 1 497,924 0 13,200
Aetna Inc. COM 008117103 2,485 50,453 Shared-Defined 1 50,453 0 0
Aflac, Inc. COM 001055102 16,722 399,330 Shared-Defined 1 399,330 0 0
Alcatel Althsom ADR COM 013904305 1,293 46,600 Shared-Defined 1 46,600 0 0
Alkermes, Inc. (New) COM 01642T108 1,558 54,061 Shared-Defined 1 54,061 0 0
Allied Irish Banks - Spons ADR COM 019228402 382 15,000 Shared-Defined 1 0 0 15,000
Amazon.Com Inc COM 023135106 14 180 Shared-Defined 1 180 0 0
America Online Inc. COM 02364J104 767 7,370 Shared-Defined 1 7,120 0 250
American Express Co. COM 025816109 608 4,500 Shared-Defined 1 500 0 4,000
American Home Products Corp. COM 026609107 42 1,000 Shared-Defined 1 1,000 0 0
American International Group COM 026874107 20,893 240,321 Shared-Defined 1 224,071 0 16,250
American Superconductor Corp. COM 030111108 2,297 149,366 Shared-Defined 1 149,366 0 0
Ameritech Corp. COM 030954101 200 3,000 Shared-Defined 1 3,000 0 0
Amgen Inc. COM 031162100 1,255 15,400 Shared-Defined 1 15,400 0 0
Amkor Technology, Inc. COM 031652100 11,411 707,670 Shared-Defined 1 707,670 0 0
AMR Corporation COM 001765106 98 1,800 Shared-Defined 1 1,800 0 0
Apollo Group COM 037604105 9,844 465,980 Shared-Defined 1 465,980 0 0
Apple Computer Inc. COM 037833100 16,094 254,202 Shared-Defined 1 254,202 0 0
Applied Materials COM 038222105 11,431 147,140 Shared-Defined 1 147,140 0 0
Apt Satellite Hldgs - ADR COM 00203R105 542 117,190 Shared-Defined 1 117,190 0 0
Archer Daniels Midland Co. COM 039483102 204 16,864 Shared-Defined 1 16,864 0 0
ASM Lithography Hldgs NV COM N07059111 537 8,000 Shared-Defined 1 8,000 0 0
AT & T Corp. COM 001957109 9,237 212,348 Shared-Defined 1 211,798 0 550
At Home Corporation - Series A COM 045919107 41 1,000 Shared-Defined 1 1,000 0 0
AT&T Corp. - Liberty Media GrpA COM 001957208 1,866 50,000 Shared-Defined 1 50,000 0 0
Shs
Axa-Uap - ADR COM 054536107 1,129 17,700 Shared-Defined 1 9,700 0 8,000
Aztec Energy Corp/Utah COM 054805106 0 43 Shared-Defined 1 43 0 0
Ballard Power Systems Inc. COM 05858H104 1,906 66,000 Shared-Defined 1 25,000 0 41,000
Banco Bilbao Vizcaya, S.A. ADR COM 059458208 1,913 146,425 Shared-Defined 1 146,425 0 0
Bank of America Corporation COM 060505104 12,441 223,401 Shared-Defined 1 221,001 0 2,400
Bank Of NY Inc COM 064057102 502 15,000 Shared-Defined 1 0 0 15,000
Banta Corp. COM 066821109 306 13,725 Shared-Defined 1 13,725 0 0
BCE Inc. COM 05534B109 672 13,500 Shared-Defined 1 13,500 0 0
Bear Stearns Cos. COM 073902108 93 2,415 Shared-Defined 1 2,415 0 0
Belden, Inc. COM 077459105 424 20,700 Shared-Defined 1 20,700 0 0
Bell Atlantic Corp. COM 077853109 3,209 47,678 Shared-Defined 1 47,678 0 0
Bellsouth Corp. COM 079860102 180 4,000 Shared-Defined 1 4,000 0 0
Ben & Jerrys Homemade Inc Cl A COM 081465106 69 4,000 Shared-Defined 1 4,000 0 0
Berkshire Hathaway Inc - Cl B COM 084670207 19 10 Shared-Defined 1 10 0 0
Billing Concepts Corp. COM 090063108 2,615 523,060 Shared-Defined 1 523,060 0 0
Biochem Pharma Inc. COM 09058T108 249 10,400 Shared-Defined 1 7,000 0 3,400
Biogen COM 090597105 1,166 14,800 Shared-Defined 1 14,800 0 0
BioReliance Corp. COM 090951104 3 420 Shared-Defined 1 420 0 0
BISYS Group Inc. COM 055472104 8,655 184,520 Shared-Defined 1 184,520 0 0
Bladex (Banco Latinoamericano COM P16994132 1,843 80,580 Shared-Defined 1 79,380 0 1,200
De Exp)
BMC Software Inc. COM 055921100 1,353 18,900 Shared-Defined 1 18,900 0 0
Boeing Co. COM 097023105 686 16,100 Shared-Defined 1 16,100 0 0
Borders Group Inc. COM 099709107 195 13,250 Shared-Defined 1 13,250 0 0
Borg-Warner Automotive COM 099724106 645 15,000 Shared-Defined 1 15,000 0 0
Bowater Inc COM 102183100 3,329 63,400 Shared-Defined 1 63,400 0 0
BP Amoco Plc - ADR COM 055622104 24,293 219,229 Shared-Defined 1 212,181 0 7,048
Bristol Myers Squibb Co. COM 110122108 4,185 62,000 Shared-Defined 1 52,000 0 10,000
Broadcom Corp - Class A COM 111320107 164 1,500 Shared-Defined 1 1,500 0 0
Buffets Inc. COM 119882108 5,855 503,615 Shared-Defined 1 503,615 0 0
Burlington Resources Inc. COM 122014103 101 2,742 Shared-Defined 1 2,742 0 0
Campbell Soup Co. COM 134429109 86 2,200 Shared-Defined 1 2,200 0 0
Cardiothoracic Systems Inc. COM 141907105 98 5,844 Shared-Defined 1 5,844 0 0
Caremark RX Inc. COM 141705103 25 4,308 Shared-Defined 1 4,308 0 0
Catalytica Inc. COM 148885106 1,350 90,000 Shared-Defined 1 90,000 0 0
Caterpillar Inc. COM 149123101 285 5,196 Shared-Defined 1 5,196 0 0
CBT Group Plc - ADR COM 124853300 1,847 75,000 Shared-Defined 1 75,000 0 0
Celestial Seasonings Inc. COM 151016102 963 50,000 Shared-Defined 1 50,000 0 0
Cell Genesys COM 150921104 12,954 1,645,000 Shared-Defined 1 1,645,000 0 0
Central Pacific Minerals ADR COM 154762306 22,908 2,276,490 Shared-Defined 1 2,276,490 0 0
Centura Software Corp. COM 15640W103 1 1,117 Shared-Defined 1 1,117 0 0
Chase Manhattan Corp. COM 16161A108 66,643 884,146 Shared-Defined 1 883,871 0 275
Chevron Corp COM 166751107 32,726 368,747 Shared-Defined 1 366,147 0 2,600
Chiron Corp COM 170040109 1,848 66,760 Shared-Defined 1 66,760 0 0
Chubb Corp. COM 171232101 258 5,200 Shared-Defined 1 5,200 0 0
Ciena Corp. - Restricted S3 COM 171779101 10,630 291,225 Shared-Defined 1 282,523 0 8,702
Cinergy Corp. COM 172474108 151 5,350 Shared-Defined 1 5,350 0 0
Cisco Systems, Inc. COM 17275R102 20,289 295,924 Shared-Defined 1 284,274 0 11,650
Citigroup Inc. COM 172967101 8,664 196,900 Shared-Defined 1 196,900 0 0
CKE Restaurants, Inc. COM 12561E105 461 63,640 Shared-Defined 1 63,640 0 0
Clinichem Dev Inc. Cl A COM 186906103 2 260 Shared-Defined 1 175 0 85
Cognex Corp. COM 192422103 1,358 44,984 Shared-Defined 1 41,984 0 3,000
Columbia/HCA Healthcare Corp. COM 197677107 1,259 59,400 Shared-Defined 1 59,400 0 0
Com21 Inc. COM 205937105 33 2,500 Shared-Defined 1 2,500 0 0
Compaq Computer Corp. COM 204493100 950 41,546 Shared-Defined 1 41,546 0 0
Computer Task Group COM 205477102 8,262 560,150 Shared-Defined 1 560,150 0 0
Continental Airlines Inc, Cl B COM 210795308 11,557 352,900 Shared-Defined 1 352,900 0 0
Convergys Corp. COM 212485106 6,832 344,800 Shared-Defined 1 344,800 0 0
Cousins Properties Inc. COM 222795106 3,394 100,000 Shared-Defined 1 100,000 0 0
Cox Communications Inc Cl-A COM 224044107 4,021 96,300 Shared-Defined 1 96,300 0 0
Critical Path Inc. COM 22674V100 20 500 Shared-Defined 1 500 0 0
Cummins Engine Inc. COM 231021106 598 12,000 Shared-Defined 1 12,000 0 0
DaimlerChrysler AG COM D1668R123 130 1,870 Shared-Defined 1 1,870 0 0
Dal-Tile International,Inc. COM 23426R108 4,177 526,190 Shared-Defined 1 526,190 0 0
Dayton Hudson Corp. COM 239753106 913 15,200 Shared-Defined 1 15,200 0 0
DBT Online Inc. COM 233044106 5,180 207,700 Shared-Defined 1 207,700 0 0
Delphi Automotive Systems Corp COM 247126105 11,114 691,891 Shared-Defined 1 691,891 0 0
Dime Bancorp Inc. (New) COM 25429Q102 1,675 95,700 Shared-Defined 1 95,700 0 0
Disney, Walt Co. COM 254687106 4,192 161,230 Shared-Defined 1 161,230 0 0
Donnelly Corp. COM 257870105 703 50,000 Shared-Defined 1 50,000 0 0
DoubleClick, Inc. - Restricted COM 258609304 14,622 122,746 Shared-Defined 1 121,802 0 944
Rule 144
Dover Corp. COM 260003108 1,799 44,000 Shared-Defined 1 44,000 0 0
Duke Power COM 264399106 6 104 Shared-Defined 1 104 0 0
Dupont, E.I. de Nemours & Co. COM 263534109 5,034 83,200 Shared-Defined 1 81,200 0 2,000
DVI, Inc. COM 233343102 6,313 385,500 Shared-Defined 1 385,500 0 0
E-Trade Group Inc. COM 269246104 14 600 Shared-Defined 1 600 0 0
Earthlink Network Inc. COM 270322100 215 5,000 Shared-Defined 1 5,000 0 0
Echelon Corporation-Restricted COM 27874N105 1,280 167,806 Shared-Defined 1 167,477 0 329
Rule 144
Echelon Intl.Corp. COM 278747100 2 80 Shared-Defined 1 80 0 0
EchoStar Communications Corp. Cl A COM 278762109 14,625 161,040 Shared-Defined 1 161,040 0 0
Education Management Corp. COM 28139T101 990 80,000 Shared-Defined 1 80,000 0 0
Elan Corp PLC - ADR COM 284131208 1,184 35,284 Shared-Defined 1 35,084 0 200
Emc Corp. Mass COM 268648102 11 155 Shared-Defined 1 155 0 0
Emerson Electric Co. COM 291011104 404 6,400 Shared-Defined 1 5,000 0 1,400
Enron Corp. COM 293561106 2,710 66,000 Shared-Defined 1 66,000 0 0
EOG Resources Inc. COM 28875P101 1,891 89,000 Shared-Defined 1 89,000 0 0
Ericsson Tel - ADR (New) COM 294821400 9,970 319,040 Shared-Defined 1 319,040 0 0
Estee Lauder Companies - Cl A COM 518439104 124 3,182 Shared-Defined 1 3,182 0 0
(Loan/Pledge Agmt Dtd
Europe Online Networks S.A. COM 29699210 13,732 2,040,335 Shared-Defined 1 2,040,335 0 0
Exide Corp. COM 302051107 3,700 386,960 Shared-Defined 1 386,960 0 0
Exodus Communications, Inc. COM 302088109 36 500 Shared-Defined 1 500 0 0
Exxon Corp. COM 302290101 60,558 796,820 Shared-Defined 1 793,520 0 3,300
Family Dollar Stores, Inc. COM 307000109 11,124 526,590 Shared-Defined 1 526,590 0 0
Farm Family Holdings Inc. COM 307901108 4 107 Shared-Defined 1 107 0 0
FDX Corp. COM 31304N107 311 8,000 Shared-Defined 1 0 0 8,000
Federal National Mortgage Assoc. COM 313586109 4,921 78,500 Shared-Defined 1 70,500 0 8,000
FEI Company COM 30241L109 4 465 Shared-Defined 1 465 0 0
Financial Federal Corp. COM 317492106 28 1,502 Shared-Defined 1 1,502 0 0
Fleetwood COM 339099103 30 1,500 Shared-Defined 1 1,500 0 0
Florida Progress Corp. COM 341109106 76 1,650 Shared-Defined 1 1,650 0 0
Franchise Mtge Acceptance Co. COM 35181D108 67 9,400 Shared-Defined 1 9,400 0 0
Fuji Bank Step Up 9.87% Pfd 144 COM 359577AA1 178 75,000 Shared-Defined 1 175,000 0 0
A 12/31/49
Galileo Intl Inc. COM 363547100 403 10,000 Shared-Defined 1 0 0 10,000
Gap, Inc. COM 364760108 1,577 49,275 Shared-Defined 1 49,275 0 0
General Electric Co. COM 369604103 52,552 443,242 Shared-Defined 1 440,842 0 2,400
General Growth Properties COM 370021107 3,459 109,800 Shared-Defined 1 109,800 0 0
General Motors Corp - Class H COM 370442832 3,764 65,750 Shared-Defined 1 65,750 0 0
General Motors Corp. COM 370442105 441 7,000 Shared-Defined 1 7,000 0 0
Getty Images, Inc. COM 374276103 8,014 332,200 Shared-Defined 1 332,200 0 0
Gilead Sciences Inc. COM 375558103 1,940 30,222 Shared-Defined 1 24,998 0 5,224
Gillette Co. COM 375766102 136 4,000 Shared-Defined 1 4,000 0 0
Glaxo Wellcome Plc ADR COM 37733W105 702 13,500 Shared-Defined 1 10,000 0 3,500
Global Crossing Ltd COM G3921A100 999 37,687 Shared-Defined 1 37,687 0 0
Halliburton Co. COM 406216101 426 10,400 Shared-Defined 1 10,400 0 0
Hartford Financial Services COM 416515104 593 14,500 Shared-Defined 1 14,500 0 0
Group, Inc.
Healthcare Services Group. COM 421906108 5,015 614,884 Shared-Defined 1 614,884 0 0
Healtheon Corp. COM 422209106 37 1,000 Shared-Defined 1 1,000 0 0
Healthsouth Corp. COM 421924101 16 2,608 Shared-Defined 1 2,608 0 0
Heinz (H.J.) Co. COM 423074103 9 200 Shared-Defined 1 200 0 0
Hershey Foods Corp. COM 427866108 316 6,500 Shared-Defined 1 6,500 0 0
Hewlett Packard Co COM 428236103 2,554 28,140 Shared-Defined 1 28,140 0 0
Home Depot Inc. COM 437076102 9,608 140,000 Shared-Defined 1 139,500 0 500
IDEC Pharmaceuticals Corp. COM 449370105 1,922 20,441 Shared-Defined 1 20,441 0 0
Idexx Laboratories Inc. COM 45168D104 1,732 100,596 Shared-Defined 1 100,596 0 0
Imperial Credit Inds. Inc. COM 452729106 26 5,900 Shared-Defined 1 5,900 0 0
Incyte Pharmaceuticals Inc. COM 45337C102 36 1,559 Shared-Defined 1 1,559 0 0
Information Resources Inc. COM 456905108 5,695 514,820 Shared-Defined 1 514,820 0 0
Inktomi Corp. - Restricted Exp - COM 457277101 923 7,686 Shared-Defined 1 6,124 0 1,562
09/25/99
Int'l Business Machines Corp. COM 459200101 43,974 363,418 Shared-Defined 1 360,618 0 2,800
Integrated Systems Inc. COM 45812M104 5,997 588,630 Shared-Defined 1 588,630 0 0
Intel Corp. COM 458140100 12,964 174,452 Shared-Defined 1 170,452 0 4,000
Interest Rate Guarantee COM 45999935 94 7,500,000, Shared-Defined 17,500,000,0 0 0
Dec 1999 Calls
Interest Rate Guarantee COM 45999945 1,031 3,300,000, Shared-Defined 13,300,000,0 0 0
Jun 2000 Calls
Interest Rate Guarantee COM 45999947 938 5,000,000, Shared-Defined 15,000,000,0 0 0
Jun 2000 Calls
Interest Rate Guarantee COM 45999940 344 5,500,000, Shared-Defined 15,500,000,0 0 0
Mar 2000 Calls
Iona Technologies Plc-ADR COM 46206P109 3,059 237,600 Shared-Defined 1 237,600 0 0
Ionics Inc. COM 462218108 1,036 32,000 Shared-Defined 1 32,000 0 0
Iron Mountain Inc. COM 46284P104 9,170 270,690 Shared-Defined 1 270,690 0 0
J.P. Morgan COM 616880100 8,724 76,360 Shared-Defined 1 75,210 0 1,150
Johnson & Johnson COM 478160104 6,479 70,520 Shared-Defined 1 63,614 0 6,906
Juniper Networks, Inc. COM 48203R104 157 860 Shared-Defined 1 860 0 0
Kemper New Europe Fund - M COM 48841Y404 35 1,800 Shared-Defined 1 1,800 0 0
Kerr-McGee Corp COM 492386107 32 590 Shared-Defined 1 590 0 0
Keycorp COM 493267108 4,646 180,000 Shared-Defined 1 180,000 0 0
KeySpan Corporation COM 49337W100 369 12,900 Shared-Defined 1 12,900 0 0
Kimberly-Clark Corp COM 494368103 8,363 158,542 Shared-Defined 1 158,342 0 200
Komag Inc. COM 500453105 15 5,026 Shared-Defined 1 5,026 0 0
Koninklijke Philips Elect- COM 500472204 25,232 249,820 Shared-Defined 1 249,820 0 0
N.V.NY shs
Kopin Corporation COM 500600101 705 25,401 Shared-Defined 1 25,401 0 0
Kronos Inc. COM 501052104 9,917 270,317 Shared-Defined 1 270,317 0 0
Leggett & Platt Inc. COM 524660107 1,449 73,600 Shared-Defined 1 73,600 0 0
LifePoint Hospitals, Inc. COM 53219L109 2 210 Shared-Defined 1 210 0 0
Lilly Eli & Co. COM 532457108 20,240 315,320 Shared-Defined 1 315,320 0 0
Liposome Corp - Affiliate Status COM 536310105 228 30,000 Shared-Defined 1 30,000 0 0
Lucent Technologies COM 549463107 696 10,724 Shared-Defined 1 724 0 10,000
Lycos Inc - Restricted Rule S3 COM 550818108 7,121 142,056 Shared-Defined 1 141,106 0 950
Madge Networks, N.V. COM N5424G106 10 4,019 Shared-Defined 1 4,019 0 0
Mannesmann AG-Sponsored ADR COM 563775303 122 750 Shared-Defined 1 750 0 0
Mattel, Inc. COM 577081102 1,414 74,400 Shared-Defined 1 74,400 0 0
McDonalds Corp. COM 580135101 48 1,116 Shared-Defined 1 1,116 0 0
MCI Worldcom Inc. COM 55268B106 15,399 214,242 Shared-Defined 1 213,742 0 500
Mentor Graphics COM 587200106 7,040 822,118 Shared-Defined 1 822,118 0 0
Merck & Co. Inc. COM 589331107 560,386 8,646,205 Shared-Defined 1 533,950 0 8,112,255
Mettler-Toledo International COM 592688105 16 538 Shared-Defined 1 538 0 0
Microsemi Corp. COM 595137100 3,352 454,540 Shared-Defined 1 454,540 0 0
Microsoft Corp - Restricted COM 594918104 5,907 65,228 Shared-Defined 1 46,420 0 18,808
Rule S3
MidAmerican Energy Hldgs, Co. COM 59562V107 112 3,808 Shared-Defined 1 3,808 0 0
Millennium Pharmaceuticals COM 599902103 3,907 60,103 Shared-Defined 1 60,103 0 0
Miller, Herman Inc. COM 600544100 956 40,000 Shared-Defined 1 40,000 0 0
MindSpring Enterprises, Inc. COM 602683104 266 9,600 Shared-Defined 1 1,600 0 8,000
Minnesota Mining & Mfg. Co. COM 604059105 874 9,100 Shared-Defined 1 7,900 0 1,200
Mobil Corp. COM 607059102 9,177 91,091 Shared-Defined 1 89,091 0 2,000
Momentum Business ApplicationsInc. COM 60877P108 5 548 Shared-Defined 1 548 0 0
Montana Power Co. COM 612085100 499 16,400 Shared-Defined 1 16,400 0 0
Morgan Stanley Emerging Mkts Fund COM 61744G107 66 6,000 Shared-Defined 1 6,000 0 0
Motorola Inc. COM 620076109 8,378 95,200 Shared-Defined 1 95,200 0 0
Mount Burgess Gold Mining COM 6607319 320 3,161,705 Shared-Defined 1 3,161,705 0 0
Company NL
National City Corp. COM 635405103 43 1,600 Shared-Defined 1 1,600 0 0
Neomagic Corp. COM 640497103 39 5,000 Shared-Defined 1 5,000 0 0
Neopath Inc. COM 640517108 144 30,000 Shared-Defined 1 30,000 0 0
Network Appliance Inc. COM 64120L104 11,998 167,506 Shared-Defined 1 167,506 0 0
Network Associates Inc. COM 640938106 9,591 501,500 Shared-Defined 1 501,500 0 0
Netwrk Assc Inc-Dec 99 22 Puts COM 64099127 -163 -39,800 Shared-Defined 1 -39,800 0 0
Netwrk Assc Inc-Dec 99 25 Puts COM 64099125 -161 -238 Shared-Defined 1 -238 0 0
NetZero, Inc. COM 64122R109 52 2,000 Shared-Defined 1 2,000 0 0
New Era Of Networks Inc. COM 644312100 2,996 138,556 Shared-Defined 1 127,043 0 11,513
Newbridge Networks Corp. COM 650901101 17,908 687,100 Shared-Defined 1 687,100 0 0
Newpark Resources, Inc. COM 651718504 2,863 369,450 Shared-Defined 1 369,450 0 0
Nextel Communications Inc Cl A COM 65332V103 24,879 366,870 Shared-Defined 1 366,870 0 0
Nielsen Media Research Corp. COM 653929307 12,133 326,255 Shared-Defined 1 326,255 0 0
Nokia - ADR A COM 654902204 29,515 328,401 Shared-Defined 1 328,401 0 0
Norfolk Southern Corp. COM 655844108 1,696 69,208 Shared-Defined 1 69,208 0 0
Nortel Networks Corp. COM 656569100 16,613 325,751 Shared-Defined 1 325,751 0 0
Northpoint Communications COM 666610100 93 5,000 Shared-Defined 1 5,000 0 0
Group, Inc.
NTL Incorporated COM 629407107 21,613 224,913 Shared-Defined 1 222,413 0 2,500
Object Design, Inc. COM 674416102 7,947 1,741,530 Shared-Defined 1 1,741,530 0 0
Ocean Energy Inc. COM 67481E106 14 1,385 Shared-Defined 1 1,385 0 0
Office Depot, Inc. COM 676220106 2,623 249,800 Shared-Defined 1 249,800 0 0
On Assignment Inc. COM 682159108 1,920 80,000 Shared-Defined 1 80,000 0 0
Orion Capital Corp. COM 686268103 1,895 40,000 Shared-Defined 1 40,000 0 0
Osmonics Inc. COM 688350107 11 1,000 Shared-Defined 1 1,000 0 0
Oxford Health Plans COM 691471106 625 50,000 Shared-Defined 1 50,000 0 0
Pacific Gateway Exchange Inc. COM 694327107 1,600 97,700 Shared-Defined 1 97,700 0 0
Pacificorp. COM 695114108 89 4,400 Shared-Defined 1 4,400 0 0
PE Corp-PE Biosystems Group COM 69332S102 843 11,670 Shared-Defined 1 11,670 0 0
PE Corp-PE Celera Genomics Grp COM 69332S201 117 2,916 Shared-Defined 1 2,916 0 0
Peak Int'l Ltd COM G69586108 6,292 737,560 Shared-Defined 1 737,560 0 0
Peoples Heritage Fin'l Group COM 711147108 6,563 394,750 Shared-Defined 1 389,750 0 5,000
Peoplesoft Inc. COM 712713106 3,913 231,000 Shared-Defined 1 231,000 0 0
Pepsi-Cola Puerto Rico Bottling Co. COM 713434108 4 590 Shared-Defined 1 590 0 0
Pepsico, Inc COM 713448108 8,856 290,366 Shared-Defined 1 290,366 0 0
Pfizer COM 717081103 1,001 27,900 Shared-Defined 1 27,900 0 0
Pharmacyclics Inc. COM 716933106 1,840 45,016 Shared-Defined 1 45,016 0 0
Pioneer Hi Bred Int'l Inc. COM 723686101 28 700 Shared-Defined 1 700 0 0
Pohang Iron & Steel-Spons ADR COM 730450103 313 10,000 Shared-Defined 1 0 0 10,000
Portugal Telecom S.A. - ADR COM 737273102 165 4,000 Shared-Defined 1 4,000 0 0
Preview Travel Inc. COM 74137R101 57 3,500 Shared-Defined 1 3,500 0 0
Primus Telecommunications COM 741929103 8,182 389,629 Shared-Defined 1 389,629 0 0
Group, Inc.
Procter & Gamble Co. COM 742718109 1,753 18,700 Shared-Defined 1 18,700 0 0
Psinet Inc. COM 74437C101 6,897 191,750 Shared-Defined 1 191,750 0 0
PurchasePro.Com Inc. COM 74599210 7 200 Shared-Defined 1 200 0 0
PurchaseSoft, Inc COM 746145101 678 1,970,000 Shared-Defined 1 1,970,000 0 0
PurchaseSoft, Inc (Restr) COM 746992205 2,106 7,657,553 Shared-Defined 1 7,657,553 0 0
PurchaseSoft, Inc - Ser F Wts COM 74699237 0 29,880 Shared-Defined 1 29,880 0 0
Ex Prc-$1.47 Exp-05/1
PurchaseSoft, Inc - Ser G Wts COM 746992353 0 29,881 Shared-Defined 1 29,881 0 0
Ex Prc-$1.47 Exp-05/1
PurchaseSoft, Inc - Ser I Wts COM 746992403 0 60,000 Shared-Defined 1 60,000 0 0
Ex Prc-$1.03 Exp-10/2
PurchaseSoft, Inc - Ser J Wts Ex COM 746992452 0 30,000 Shared-Defined 1 30,000 0 0
Prc-$1.27 Exp-10/2
PurchaseSoft, Inc - Ser M Wts Ex COM 746992502 0 3,200 Shared-Defined 1 3,200 0 0
Prc-$1.03 Exp-10/2
PurchaseSoft, Inc - Ser N Wts Ex COM 746992551 0 1,600 Shared-Defined 1 1,600 0 0
Prc-$1.28 Exp-10/2
PurchaseSoft,Inc - Ser B COM 74699232 0 35,007 Shared-Defined 1 35,007 0 0
Wts Ex Prc-$1.16 Exp-12/5
PurchaseSoft,Inc - Ser C Wts COM 746992304 0 35,007 Shared-Defined 1 35,007 0 0
Ex Prc-$1.16 Exp-12/5
Qualcomm Inc. COM 747525103 14,459 76,428 Shared-Defined 1 76,428 0 0
Qwest Communications Intl Inc. COM 749121109 15 500 Shared-Defined 1 500 0 0
Range Resources Corp. COM 75281A109 2,147 434,880 Shared-Defined 1 434,880 0 0
Rational Software Inc. COM 75409P202 20 694 Shared-Defined 1 694 0 0
RCN Corporation COM 749361101 123 3,000 Shared-Defined 1 3,000 0 0
Real del Monte Mining Corp. COM 760991AB5 0 500,000 Shared-Defined 1 500,000 0 0
Unsec Conv Debs
RealNetworks, Inc. COM 75605L104 163 1,560 Shared-Defined 1 1,560 0 0
Repsol S.A. ADR COM 76026T205 120 6,000 Shared-Defined 1 6,000 0 0
Rexall Sundown Inc. COM 761648104 763 62,000 Shared-Defined 1 62,000 0 0
Reynolds Metals Co. COM 761763101 7,022 116,300 Shared-Defined 1 116,300 0 0
Rohm & Haas Co COM 775371107 0 1 Shared-Defined 1 1 0 0
Royal Dutch Pete NY Reg Shs Par COM 780257804 794 13,440 Shared-Defined 1 7,200 0 6,240
NG5
Rural/Metro Corporation COM 781748108 2,753 415,540 Shared-Defined 1 415,540 0 0
S&P 500 Depository Receipt COM 78462F103 5,375 41,750 Shared-Defined 1 41,750 0 0
Safeguard Scientifics, Inc. COM 786449108 34 500 Shared-Defined 1 500 0 0
SAGA Systems, Inc. COM 786610105 2,717 188,200 Shared-Defined 1 188,200 0 0
SBC Communications, Inc. COM 78387G103 951 18,618 Shared-Defined 1 18,618 0 0
Scana Corp. COM 805898103 643 35,000 Shared-Defined 1 0 0 35,000
Schering-Plough Corp. COM 806605101 698 16,000 Shared-Defined 1 16,000 0 0
Schlumberger Ltd. COM 806857108 93 1,500 Shared-Defined 1 1,500 0 0
Scholastic Corporation COM 807066105 3,350 67,000 Shared-Defined 1 67,000 0 0
Schwab (Charles) Corp. COM 808513105 334 10,000 Shared-Defined 1 0 0 10,000
SCM Microsystems, Inc. COM 784018103 13,552 298,248 Shared-Defined 1 298,248 0 0
Scottish Power Plc - ADR COM 81013T705 410 11,300 Shared-Defined 1 11,300 0 0
Sepracor Inc. COM 817315104 378 5,000 Shared-Defined 1 5,000 0 0
Shaman Pharmaceuticals COM 819319401 1 8,026 Shared-Defined 1 4,013 0 4,013
Smithkline Beecham PLC ADR COM 832378301 346 6,000 Shared-Defined 1 0 0 6,000
Representing Ord ADRS
Sonoco Products Co. COM 835495102 351 15,366 Shared-Defined 1 15,366 0 0
Sotheby's Holdings Inc Class A COM 835898107 256 9,925 Shared-Defined 1 9,925 0 0
Southern Pacific Petroleum ADR COM 843581307 30,186 6,899,728 Shared-Defined 1 6,726,228 0 173,500
SportsLine USA, Inc. COM 848934105 74 2,500 Shared-Defined 1 2,500 0 0
Sprint Corp (PCS Group) COM 852061506 1,163 15,600 Shared-Defined 1 15,600 0 0
St. Jude Medical COM 790849103 95 3,000 Shared-Defined 1 3,000 0 0
StarMedia Network, Inc.-Restricted COM 855546107 36,937 1,005,934 Shared-Defined 1 1,005,934 0 0
Sterling Software Inc. COM 859547101 6,210 310,518 Shared-Defined 1 310,518 0 0
STMicroelectronics-N.V. NY Shs COM 861012102 29,865 403,234 Shared-Defined 1 399,234 0 4,000
Strayer Education Inc. COM 863236105 1,838 92,500 Shared-Defined 1 92,500 0 0
Structural Dynamics Research COM 863555108 60 4,000 Shared-Defined 1 4,000 0 0
Sun Microsystems Inc. COM 866810104 744 8,000 Shared-Defined 1 8,000 0 0
Sunbeam Corp. COM 867071102 74 13,000 Shared-Defined 1 13,000 0 0
Sunrise Assisted Living Inc. COM 86768K106 8,626 324,750 Shared-Defined 1 324,750 0 0
Sykes Enterprises COM 871237103 10,714 433,960 Shared-Defined 1 433,960 0 0
Sylvan Learning Centers COM 871399101 1,114 57,500 Shared-Defined 1 57,500 0 0
Symbol Technologies COM 871508107 2,232 66,375 Shared-Defined 1 66,375 0 0
TDK Corp - ADR COM 872351408 58 500 Shared-Defined 1 500 0 0
Tele Danmark As - Spons ADR COM 879242105 296 10,000 Shared-Defined 1 10,000 0 0
Telecomunicacoes de Sao Paulo SA COM 87952K100 4,284 272,000 Shared-Defined 1 272,000 0 0
- - ADR
Telefonica S.A. - ADR COM 879382208 599 12,483 Shared-Defined 1 12,483 0 0
Telescan, Inc. COM 879516102 3,299 200,700 Shared-Defined 1 200,700 0 0
Teligent, Inc Cl A COM 87959Y103 1,799 36,200 Shared-Defined 1 36,200 0 0
Texas Instruments Inc COM 882508104 29,965 364,320 Shared-Defined 1 354,380 0 9,940
Texas Utilities Co. COM 882848104 121 3,240 Shared-Defined 1 3,240 0 0
Thermedics, Inc. COM 883901100 129 17,550 Shared-Defined 1 17,550 0 0
Thermo Electron Corp COM 883556102 1,932 143,800 Shared-Defined 1 143,800 0 0
Thermo Power Corp COM 883589103 4 335 Shared-Defined 1 335 0 0
Thermotrex Corp. COM 883666109 3 517 Shared-Defined 1 517 0 0
Time Warner Inc. COM 887315109 425 7,000 Shared-Defined 1 0 0 7,000
Trex Medical Corp. COM 89531R101 2,763 669,930 Shared-Defined 1 669,930 0 0
Triad Hospitals, Inc. COM 89579K109 2 210 Shared-Defined 1 210 0 0
Triangle Pharmaceuticals Inc. COM 89589H104 582 30,221 Shared-Defined 1 30,221 0 0
Triquint Semiconductor, Inc. COM 89674K103 62 1,085 Shared-Defined 1 1,085 0 0
Tyco International Ltd COM 902124106 170 1,643 Shared-Defined 1 1,643 0 0
Unilab Corp. - New COM 904763109 17,976 3,160,414 Shared-Defined 1 3,160,414 0 0
Unilever NV - NY Shares COM 904784709 1,419 20,835 Shared-Defined 1 20,835 0 0
Union Pacific Corp. COM 907818108 96 2,000 Shared-Defined 1 2,000 0 0
United Healthcare Corp. COM 910581107 341 7,000 Shared-Defined 1 0 0 7,000
United Pan-Europe Communications - COM 911300200 7,247 118,802 Shared-Defined 1 118,802 0 0
Spons ADR
United Technologies Corp. COM 913017109 344 5,800 Shared-Defined 1 5,800 0 0
UnitedGlobalCom COM 913247508 19,107 266,760 Shared-Defined 1 266,510 0 250
Univision Communications, Inc. COM 914906102 23,851 293,100 Shared-Defined 1 292,850 0 250
Unocal Corp. COM 915289102 13,168 355,300 Shared-Defined 1 355,300 0 0
UnumProvident Corp. COM 91529Y106 10,130 344,100 Shared-Defined 1 342,100 0 2,000
Visual Networks, Inc. COM 928444108 10,591 249,553 Shared-Defined 1 248,996 0 557
Vivid Technologies, Inc. COM 928538107 1 165 Shared-Defined 1 165 0 0
Vodafone AirTouch PLC-Spon ADR COM 92857T107 10,101 42,485 Shared-Defined 1 42,485 0 0
Wal Mart Stores Inc. COM 931142103 143 3,000 Shared-Defined 1 3,000 0 0
Warner Lambert COM 934488107 10,826 163,100 Shared-Defined 1 163,100 0 0
Wellpoint Health Networks Inc. COM 94973H108 5,563 97,590 Shared-Defined 1 92,590 0 5,000
Wells Fargo Company COM 949746101 4,509 113,800 Shared-Defined 1 110,500 0 3,300
Westpac Banking Sponsored ADR COM 961214301 123 4,000 Shared-Defined 1 0 0 4,000
Whole Foods Market, Inc. COM 966837106 1,659 50,700 Shared-Defined 1 50,700 0 0
Williams Co Inc. COM 969457100 677 18,000 Shared-Defined 1 18,000 0 0
Windmere-Durable Holdings, Inc COM 973411101 5,564 461,280 Shared-Defined 1 461,280 0 0
Winstar Communications Inc. COM 975515107 10,918 279,500 Shared-Defined 1 279,100 0 400
Wisconsin Central Transport COM 976592105 29 2,100 Shared-Defined 1 2,100 0 0
WorldGate Communications,Inc. COM 98156L307 34 1,489 Shared-Defined 1 1,489 0 0
Xerox Corp. COM 984121103 17,664 421,200 Shared-Defined 1 418,000 0 3,200
Yahoo! Inc. COM 984332106 11 60 Shared-Defined 1 60 0 0
350 2,160,898
</TABLE>
<TABLE>
<CAPTION>
FORM 13F(09-30-99) NAME OF REPORTING MANAGER
ROCKEFELLER FINANCIAL SERVICES/ROCKEFELLER & CO., INC./THE ROCKEFELLER TRUST COMPANY
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Shr/ Put Call Other Voting Authority Shares
Title of Cusip Value Shares or Prn Investment Mngrs.
Name of Issuer Class (x$1,000) Principal Discretion A.Sole B.Shared C.None
3DFX Interactive Inc. COM 88553X103 85 10,319 Shared-Defined 1-2 10,319 0 0
Abbott Laboratories COM 002824100 10,688 291,308 Shared-Defined 1-2 267,308 0 24,000
Aes Corp. COM 00130H105 15,883 269,200 Shared-Defined 1-2 269,200 0 0
Aetna Inc. COM 008117103 1,837 37,300 Shared-Defined 1-2 37,300 0 0
Aflac, Inc. COM 001055102 8,295 198,100 Shared-Defined 1-2 198,100 0 0
American Home Products Corp. COM 026609107 1,403 33,800 Shared-Defined 1-2 33,800 0 0
American International Group COM 026874107 18,286 210,330 Shared-Defined 1-2 194,705 0 15,625
American Superconductor Corp. COM 030111108 25 1,605 Shared-Defined 1-2 1,605 0 0
Ameritech Corp. COM 030954101 360 5,400 Shared-Defined 1-2 0 0 5,400
Apollo Group COM 037604105 501 23,720 Shared-Defined 1-2 23,720 0 0
Apple Computer Inc. COM 037833100 2,007 31,700 Shared-Defined 1-2 31,700 0 0
Applied Materials COM 038222105 3,579 46,070 Shared-Defined 1-2 30,570 0 15,500
AT & T Corp. COM 001957109 1,051 24,150 Shared-Defined 1-2 24,150 0 0
Atlantic Richfield COM 048825103 275 3,100 Shared-Defined 1-2 3,100 0 0
Autozone Inc. COM 053332102 28 1,000 Shared-Defined 1-2 1,000 0 0
Avery Dennison Corp. COM 053611109 63 1,200 Shared-Defined 1-2 1,200 0 0
Axa-Uap - ADR COM 054536107 128 2,000 Shared-Defined 1-2 2,000 0 0
Bank of America Corporation COM 060505104 6,426 115,400 Shared-Defined 1-2 115,400 0 0
Bell Atlantic Corp. COM 077853109 2,248 33,400 Shared-Defined 1-2 19,500 0 13,900
Bellsouth Corp. COM 079860102 3,735 83,000 Shared-Defined 1-2 83,000 0 0
Bladex (Banco Latinoamericano COM P16994132 960 41,951 Shared-Defined 1-2 41,951 0 0
De Exp)
Boeing Co. COM 097023105 3,644 85,500 Shared-Defined 1-2 85,500 0 0
Borders Group Inc. COM 099709107 474 32,300 Shared-Defined 1-2 32,300 0 0
Bowater Inc COM 102183100 693 13,200 Shared-Defined 1-2 13,200 0 0
BP Amoco Plc - ADR COM 055622104 7,728 69,741 Shared-Defined 1-2 69,741 0 0
Bristol Myers Squibb Co. COM 110122108 5,859 86,800 Shared-Defined 1-2 86,800 0 0
Celeritek, Inc. COM 150926103 1 162 Shared-Defined 1-2 162 0 0
Chase Manhattan Corp. COM 16161A108 3,490 46,298 Shared-Defined 1-2 46,298 0 0
Chevron Corp COM 166751107 15,585 175,600 Shared-Defined 1-2 147,600 0 28,000
Ciena Corp. - Restricted S3 COM 171779101 1,235 33,839 Shared-Defined 1-2 33,839 0 0
Cisco Systems, Inc. COM 17275R102 10,024 146,198 Shared-Defined 1-2 129,698 0 16,500
Citigroup Inc. COM 172967101 66 1,500 Shared-Defined 1-2 1,500 0 0
CKE Restaurants, Inc. COM 12561E105 116 15,960 Shared-Defined 1-2 15,960 0 0
Coca Cola Company COM 191216100 1,042 21,600 Shared-Defined 1-2 21,600 0 0
Cognex Corp. COM 192422103 91 3,000 Shared-Defined 1-2 3,000 0 0
Columbia/HCA Healthcare Corp. COM 197677107 1,328 62,660 Shared-Defined 1-2 44,660 0 18,000
Continental Airlines Inc, Cl B COM 210795308 809 24,700 Shared-Defined 1-2 24,700 0 0
Convergys Corp. COM 212485106 699 35,300 Shared-Defined 1-2 35,300 0 0
Cox Communications Inc Cl-A COM 224044107 4,665 111,733 Shared-Defined 1-2 111,733 0 0
Dayton Hudson Corp. COM 239753106 3,015 50,200 Shared-Defined 1-2 50,200 0 0
Delphi Automotive Systems Corp COM 247126105 522 32,500 Shared-Defined 1-2 32,500 0 0
Disney, Walt Co. COM 254687106 1,074 41,300 Shared-Defined 1-2 41,300 0 0
DoubleClick, Inc. - COM 258609304 4,264 35,792 Shared-Defined 1-2 35,792 0 0
RestrictedRule 144
Dupont, E.I. de Nemours & Co. COM 263534109 7,565 125,036 Shared-Defined 1-2 125,036 0 0
Echelon Corporation-Restricted COM 27874N105 23 2,957 Shared-Defined 1-2 2,957 0 0
Rule 144
Elan Corp PLC - ADR COM 284131208 135 4,008 Shared-Defined 1-2 4,008 0 0
Emerson Electric Co. COM 291011104 1,479 23,400 Shared-Defined 1-2 23,400 0 0
Exxon Corp. COM 302290101 36,911 485,666 Shared-Defined 1-2 365,666 0 120,000
Family Dollar Stores, Inc. COM 307000109 1,658 78,500 Shared-Defined 1-2 78,500 0 0
Federal Realty Investment Tr. COM 313747206 54 2,600 Shared-Defined 1-2 2,600 0 0
Fleetwood COM 339099103 20 1,000 Shared-Defined 1-2 1,000 0 0
Gannett Inc. COM 364730101 794 11,480 Shared-Defined 1-2 11,480 0 0
Gap, Inc. COM 364760108 22 675 Shared-Defined 1-2 675 0 0
General Electric Co. COM 369604103 46,790 394,642 Shared-Defined 1-2 283,342 0 111,300
General Growth Properties COM 370021107 573 18,200 Shared-Defined 1-2 18,200 0 0
Grainger W W Inc. COM 384802104 673 14,000 Shared-Defined 1-2 14,000 0 0
Gulf Canada Resources Ltd Ord COM 40218L305 96 23,000 Shared-Defined 1-2 23,000 0 0
Healthsouth Corp. COM 421924101 3 520 Shared-Defined 1-2 520 0 0
Hershey Foods Corp. COM 427866108 954 19,600 Shared-Defined 1-2 14,100 0 5,500
Hewlett Packard Co COM 428236103 7,705 84,900 Shared-Defined 1-2 84,900 0 0
Home Depot Inc. COM 437076102 275 4,000 Shared-Defined 1-2 4,000 0 0
Idexx Laboratories Inc. COM 45168D104 26 1,500 Shared-Defined 1-2 1,500 0 0
Incyte Pharmaceuticals Inc. COM 45337C102 108 4,662 Shared-Defined 1-2 4,662 0 0
Int'l Business Machines Corp. COM 459200101 24,453 202,092 Shared-Defined 1-2 193,592 0 8,500
Intel Corp. COM 458140100 13,540 182,200 Shared-Defined 1-2 182,200 0 0
Iona Technologies Plc-ADR COM 46206P109 115 8,900 Shared-Defined 1-2 8,900 0 0
J.P. Morgan COM 616880100 5,884 51,500 Shared-Defined 1-2 47,000 0 4,500
Johnson & Johnson COM 478160104 3,374 36,728 Shared-Defined 1-2 36,728 0 0
Kemper New Europe Fund - M COM 48841Y404 727 37,000 Shared-Defined 1-2 20,000 0 17,000
Kerr-McGee Corp COM 492386107 47 848 Shared-Defined 1-2 848 0 0
KeySpan Corporation COM 49337W100 76 2,640 Shared-Defined 1-2 2,640 0 0
Kimberly-Clark Corp COM 494368103 2,674 50,700 Shared-Defined 1-2 50,700 0 0
Komag Inc. COM 500453105 6 2,000 Shared-Defined 1-2 2,000 0 0
Koninklijke Philips Elect- COM 500472204 2,165 21,436 Shared-Defined 1-2 21,436 0 0
N.V.NY shs
LifePoint Hospitals, Inc. COM 53219L109 4 431 Shared-Defined 1-2 0 0 431
Lilly Eli & Co. COM 532457108 1,040 16,200 Shared-Defined 1-2 16,200 0 0
Lycos Inc - Restricted Rule S3 COM 550818108 1,654 32,992 Shared-Defined 1-2 32,992 0 0
McDonalds Corp. COM 580135101 874 20,200 Shared-Defined 1-2 20,200 0 0
MCI Worldcom Inc. COM 55268B106 6,763 94,100 Shared-Defined 1-2 84,800 0 9,300
MediaOne Group Inc. COM 58440J104 1,093 16,000 Shared-Defined 1-2 16,000 0 0
Merck & Co. Inc. COM 589331107 10,227 157,800 Shared-Defined 1-2 153,800 0 4,000
Millennium Pharmaceuticals COM 599902103 386 5,946 Shared-Defined 1-2 5,946 0 0
Minnesota Mining & Mfg. Co. COM 604059105 2,142 22,300 Shared-Defined 1-2 22,300 0 0
Mobil Corp. COM 607059102 7,798 77,400 Shared-Defined 1-2 77,400 0 0
Motorola Inc. COM 620076109 1,100 12,500 Shared-Defined 1-2 12,500 0 0
Network Associates Inc. COM 640938106 10,090 527,600 Shared-Defined 1-2 523,600 0 4,000
New Era Of Networks Inc. COM 644312100 179 8,256 Shared-Defined 1-2 8,256 0 0
Newbridge Networks Corp. COM 650901101 6,711 257,500 Shared-Defined 1-2 241,500 0 16,000
Nextel Communications Inc Cl A COM 65332V103 2,740 40,410 Shared-Defined 1-2 40,410 0 0
Nokia - ADR A COM 654902204 13,607 151,400 Shared-Defined 1-2 136,400 0 15,000
Norfolk Southern Corp. COM 655844108 1,446 59,000 Shared-Defined 1-2 39,000 0 20,000
Nortel Networks Corp. COM 656569100 1,375 26,964 Shared-Defined 1-2 26,964 0 0
NTL Incorporated COM 629407107 15,476 161,050 Shared-Defined 1-2 161,050 0 0
Office Depot, Inc. COM 676220106 3,077 293,000 Shared-Defined 1-2 293,000 0 0
PE Corp-PE Biosystems Group COM 69332S102 31 428 Shared-Defined 1-2 428 0 0
PE Corp-PE Celera Genomics Grp COM 69332S201 4 107 Shared-Defined 1-2 107 0 0
Peoples Heritage Fin'l Group COM 711147108 4,913 295,530 Shared-Defined 1-2 295,530 0 0
Pepsico, Inc COM 713448108 249 8,150 Shared-Defined 1-2 8,150 0 0
Pfizer COM 717081103 1,184 33,000 Shared-Defined 1-2 33,000 0 0
Pharmacyclics Inc. COM 716933106 96 2,351 Shared-Defined 1-2 2,351 0 0
Procter & Gamble Co. COM 742718109 2,770 29,550 Shared-Defined 1-2 29,550 0 0
Psinet Inc. COM 74437C101 4,237 117,800 Shared-Defined 1-2 105,600 0 12,200
Qualcomm Inc. COM 747525103 1,041 5,500 Shared-Defined 1-2 5,500 0 0
Republic Services Inc. Cl A COM 760759100 489 45,000 Shared-Defined 1-2 45,000 0 0
Reynolds Metals Co. COM 761763101 374 6,200 Shared-Defined 1-2 6,200 0 0
SBC Communications, Inc. COM 78387G103 332 6,496 Shared-Defined 1-2 0 0 6,496
Schering-Plough Corp. COM 806605101 113 2,600 Shared-Defined 1-2 2,600 0 0
SCM Microsystems, Inc. COM 784018103 717 15,770 Shared-Defined 1-2 15,770 0 0
Southern Pacific Petroleum ADR COM 843581307 481 110,000 Shared-Defined 1-2 110,000 0 0
Spieker Properties COM 848497103 69 2,000 Shared-Defined 1-2 2,000 0 0
StarMedia Network, Inc.- COM 855546107 3,341 91,000 Shared-Defined 1-2 91,000 0 0
Restricted
STMicroelectronics-N.V. NY Shs COM 861012102 16,601 224,150 Shared-Defined 1-2 204,150 0 20,000
TDK Corp - ADR COM 872351408 163 1,400 Shared-Defined 1-2 1,400 0 0
Teligent, Inc Cl A COM 87959Y103 273 5,500 Shared-Defined 1-2 5,500 0 0
Texas Instruments Inc COM 882508104 26,953 327,700 Shared-Defined 1-2 309,700 0 18,000
Thermotrex Corp. COM 883666109 2 346 Shared-Defined 1-2 346 0 0
Triad Hospitals, Inc. COM 89579K109 4 431 Shared-Defined 1-2 0 0 431
Triangle Pharmaceuticals Inc. COM 89589H104 15 795 Shared-Defined 1-2 795 0 0
Triquint Semiconductor, Inc. COM 89674K103 4 70 Shared-Defined 1-2 70 0 0
U.S. WEST, Inc. COM 91273H101 938 16,435 Shared-Defined 1-2 16,435 0 0
UnitedGlobalCom COM 913247508 2,136 29,820 Shared-Defined 1-2 22,720 0 7,100
Univision Communications, Inc. COM 914906102 14,778 181,600 Shared-Defined 1-2 181,600 0 0
Unocal Corp. COM 915289102 956 25,800 Shared-Defined 1-2 25,800 0 0
UnumProvident Corp. COM 91529Y106 1,969 66,900 Shared-Defined 1-2 66,900 0 0
Visual Networks, Inc. COM 928444108 2,142 50,483 Shared-Defined 1-2 50,483 0 0
Vodafone AirTouch PLC-Spon ADR COM 92857T107 3,150 13,250 Shared-Defined 1-2 10,950 0 2,300
Wal Mart Stores Inc. COM 931142103 761 16,000 Shared-Defined 1-2 16,000 0 0
Warner Lambert COM 934488107 770 11,600 Shared-Defined 1-2 11,600 0 0
Wellpoint Health Networks Inc. COM 94973H108 773 13,560 Shared-Defined 1-2 13,560 0 0
Wells Fargo Company COM 949746101 6,875 173,500 Shared-Defined 1-2 173,500 0 0
Winstar Communications Inc. COM 975515107 2,961 75,800 Shared-Defined 1-2 73,800 0 2,000
Xerox Corp. COM 984121103 9,864 235,200 Shared-Defined 1-2 235,200 0 0
132 503,523
</TABLE>
